Lead Compliance Officer - Aegon AM at Aegon Asset Management

Cedar Rapids, Iowa, United States -

Full Time

Start Date

Immediate

Expiry Date

13 Jun, 26

Salary

0.0

Posted On

16 Mar, 26

Experience

5 year(s) or above

Remote Job

Yes

Telecommute

Yes

Sponsor Visa

Skills

Compliance Policies, Portfolio Management, Trading Practices, Insider Trading, Electronic Communications, Risk Assessments, Surveillance, Forensic Testing, Data Analysis, Trade Execution Oversight, Brokerage Practices, Regulatory Compliance, Employee Training, Regulatory Interpretation, Quantitative Skills, Analytical Skills

Industry

Investment Management

Description

Job Description Summary Aegon Asset Management (Aegon AM) is a leading global investor. Our 350 investment professionals manage and advise on assets of US $384 billion for a global client base of pension plans, public funds, insurance companies, banks, wealth managers, family offices and foundations. We organize our firm around four investment platforms: fixed income, real assets, equities and multi-asset & solutions, which includes a fiduciary and multi-manager business. Each investment platform has dedicated teams with deep asset-class expertise, organized globally and committed to maximizing client benefit from their specialist areas. We are an international business: Our 1,125 employees work from 14 locations across Europe, the Americas and Asia. We share a common belief in fundamental, research-driven active management, underpinned by effective risk management and a commitment to responsible investment. Position Overview: Administers areas of assigned compliance responsibilities to support Aegon Asset Management (Aegon AM) U.S. compliance programs. The role involves serving as lead subject matter expert for certain core investment adviser compliance functions, focusing on investment and trading activities addressing regulatory and compliance risks, to ensure adherence to regulatory requirements, client expectations and industry standards. Job Description Responsibilities: Lead and administer assigned compliance policies and procedures related to portfolio management, trading practices, insider trading, electronic communications and other areas, utilizing compliance surveillance and other systems as applicable. Maintain policies in accordance with SEC regulations and consistent with business practices. Perform risk assessments, surveillance, monitoring, forensic testing and data analysis to identify and address compliance issues, policy and procedure violations, and conflicts of interest. Advise Chief Compliance Officer of risks and gaps, recommend and lead corrective actions. Lead compliance oversight of trade execution, aggregation and allocation practices, trade errors, brokerage practices and broker approvals, among other items, including oversight of Front Office processes and procedures. Partner with Portfolio Management, Trading, Investment Management Operations, Trade Operations and other functions such as Portfolio Risk Control, Legal, etc. on identification and resolution of compliance matters and risk mitigation. Represent Compliance team in meetings and committees, including the best execution committee, liquidity risk oversight committee and others as assigned. Support insider trading compliance, including oversight of Material Non-Public Information (“MNPI”) controls, restricted securities and watch lists, and employee training. Provide management reporting, administer responses to client inquiries, RFPs and due diligence questionnaires, compile information for regulatory examinations. Provide advice and guidance related to assigned policies and compliance topics, and new investment products or strategies; administer employee training on regulatory compliance matters. Research and interpret regulatory requirements and compliance best practices to inform policy and procedure updates and control enhancements. Required Qualifications: Bachelor’s degree in business or related field, or equivalent education and experience. At least eight years of relevant work experience in the investment management industry, or equivalent professional experience. Solid academic background with strong quantitative/analytical skills. Experience in highly automated environment and/or high degree of comfort and fluency with computers and technology. Ability to work in a small-team environment and to work independently and to multi-task with minimal supervision. Attention to detail and organizational skills, with ability to multi-task deliverables in a fast paced environment. Strong sense of accountability with a drive for results. Professional maturity and ability to be discreet in working with highly sensitive information. Preferred Qualifications Understanding of relevant regulatory requirements, including the Investment Advisers Act of 1940 and Investment Company Act of 1940. Working knowledge of investment products and strategies across multiple asset classes and portfolio management activities from prior experience at an investment advisory firm. Familiarity with compliance technologies (e.g., ACA ComplianceAlpha (Decryptex) for post-trade surveillance), trade order management systems (e.g., BlackRock Aladdin), Bloomberg Terminal, Bloomberg Vault. Job and compensation levels depend upon an applicant’s qualifications including the extent of candidate’s relevant experience and other job-related factors and will be determined by hiring supervisors/managers and HR. At Aegon Asset Management, we are committed to fostering a diverse workforce and an inclusive culture. We are more than a global Asset Management firm – we are a people business, and we recognize that delivering excellent client outcomes comes from embracing diverse perspectives. We value diversity in the full range of human uniqueness without limitation including race, gender, ability, language, culture, beliefs, age, origin, background, perspectives and experiences. #LI-Hybrid Why Work for Us At Aegon Asset Management, we invest in You. Our people are our greatest asset; with a competitive rewards program including incentive compensation, health and wellness benefits, retirement programs, and learning and development opportunities, our employees are engaged and empowered. Come be a part of driving our success! Equal Opportunity Employer: AEGON USA Realty Advisors, LLC, is an Equal Employment Opportunity/ Affirmative Action Employer and does not discriminate against any applicant or employee because of age, religion, sex, gender identity, genetic information, race, color, national origin, pregnancy, sexual orientation, marital status, participation in the uniformed services (e.g. U.S. Armed Forces, National Guard), physical or mental disability, or any other status protected by federal, state, or local equal employment opportunities laws. Applicants with physical or mental disabilities may be entitled to a form of reasonable accommodation under the Americans with Disabilities Act and certain state and local laws. A reasonable accommodation is a change in the way things are normally done which will insure equal employment opportunity without imposing undue hardship on the Aegon Companies. Please contact: applicantsupport@aegonusa.com if you are a job seeker with a disability, or are assisting someone with a disability, and require assistance to apply for one of our jobs. Technical Assistance: If you experience technical problems during the application process, please email applicantsupport@aegonusa.com. Aegon Asset Management is a global, active investment manager. We use our investment management expertise to help people achieve a lifetime of financial security, with a focus on excellence, trust and partnership. Our clients benefit from the extensive international research capabilities and in-depth local knowledge. Aegon Asset Management is part of Aegon Group, one of the world's leading financial services organizations, providing life insurance, pensions and asset management. People are fundamental to the success of our business. By promoting individual accountability and strong teamwork, we’re able to give all of our people the freedom to get on with doing what they do best, whether the individual’s function is financial, technical or creative. Join our diverse teams around the world in a relaxed and professional working environment. The reward? Great benefits and the recognition you deserve. California residents may find additional information about the processing of their personal data HERE, including information about their right to opt out of the sale or sharing of their personal information, and may submit an opt-out request HERE.

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Responsibilities

This role involves leading and administering assigned compliance policies related to portfolio management, trading, and communications, while serving as the lead subject matter expert for core investment adviser compliance functions. Responsibilities include performing risk assessments, surveillance, and monitoring to identify and address compliance issues, and advising the Chief Compliance Officer on risks and necessary corrective actions.